Counsel - Broker-Dealer Regulatory

• Provides advice on matters related to global distribution of domestic and offshore mutual funds by applying knowledge of U.S. and international securities laws and regulations including the 1940 Act, Exchange Act, Investment Advisers Act, and FINRA rules.
• Provides advice and counsel to MFS?s limited-purpose broker-dealer on compliance with FINRA rules and other regulatory matters.
• Drafts and negotiates distribution and service agreements with domestic and international intermediaries including broker-dealers, banks, retirement plan recordkeepers, etc.
• Provides advice and counsel to MFS?s registered transfer agent on related shareholder servicing and recordkeeping matters.
• Assists with the preparation of broker-dealer filings, primarily Forms BD and BR.
• Reviews and interprets statutes, rules and policies which are relevant to the regulatory functions of MFS, its corporate subsidiaries, clients and fund complexes and works with internal clients to meet their business objectives within the regulatory environment.
• Maintains awareness of best practices and evolving issues within the scope of the position, relates same to other departments within MFS, suggesting changes and modifications in practices and processes as necessary, and planning the implementation of same.
• Assumes additional responsibilities as requested.

• Bachelor's Degree and Juris Doctorate Degree required. Must have at least 6-8 years of experience practicing law, preferably at a national law firm and/or comparable in-house position. Experience working in a global business in the legal specialty is preferred.
• Significant experience with domestic and offshore retail fund distribution matters and broker-dealer and transfer agent operations is highly preferred.
• Should have excellent written and verbal communication, have strong problem-solving skills, have a client-service orientation, and be highly organized and detail-oriented. Must be able to draft and write effectively, and present research, analysis, and conclusions in a persuasive manner.
• Proven ability to develop and foster strong interpersonal relationships and to collaborate with cross-functional teams throughout the organization.
• Must be a member in good standing of a state bar, such as the Massachusetts Board of Bar Overseers and maintain good standing for all necessary license(s) and/or professional qualifications.

• Generous time-off provided: including "Responsible time off" for many roles, paid company holidays when the US Stock Exchange is closed, plus paid volunteer time
• Family Focus: Up to 20 weeks of paid leave for new parents, back-up care program, dependent care flexible spending account, adoption assistance, generous caregiver leave
• Health and Welfare: Competitive medical, vision and dental plans, plus tax-free health savings accounts with company contributions
• Wellness Programs: Robust wellness webinars, employee assistance program, gym reimbursement through our medical plans, fitness center discounts and more
• Life & Disability Benefits: Company-paid basic life insurance and short-term disability
• Financial Benefits: 401(k) savings plan, Defined Contribution plan- 15% of base salary invested into the Plan, competitive total compensation programs

Qualification

Juris Doctor (JD)

Practice Areas & Specialty

4 Act, Corporate, Investment Funds, Investment Management